RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
M•••••• F••••••• P••••••••
- I••••••••• A••••• I••••••••• M••••••••• L•• BD affiliated currentsince Aug 8, 2017 · Orlando, Fl
- S••••••• I••••••••• S•••••••• I••• formerMay 14, 2014 to Dec 9, 2015 · Tampa, Fl
- W•••• F•••• A••••••• wirehouseJan 28, 2010 to Apr 15, 2014 · Miami, Fl
- M••••• S•••••• wirehouseJun 1, 2009 to Dec 2, 2009 · Naples, Fl
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Naples, Fl
- M••••• S•••••• D• I••• unclassifiedMar 24, 2006 to Apr 2, 2007 · Naples, Fl
- S••••••• I••••••••• S•••••••• I••• to I••••••••• A••••• I••••••••• M••••••••• L••left Dec 9, 2015, registered Aug 8, 2017 (608 days) · Other
- W•••• F•••• A••••••• to S••••••• I••••••••• S•••••••• I•••left Apr 15, 2014, registered May 14, 2014 (29 days) · Other
- M••••• S•••••• to W•••• F•••• A•••••••left Dec 2, 2009, registered Jan 28, 2010 (57 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address